N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-04202 Kenneth R. Gaarder, IRA, claimant vs. William L. Roberts and First Potomac Investment Services, Inc., respondents. Claimant appeared Pro Se. - Chevy Chase, MD. Respondent William L. Roberts appeared Pro Se - Falls Church, VA. Respondent First Potomac Investment Services, Inc. appeared Pro Se, through it's President, Herbert I. Millard - Falls Church, VA.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimam) Watco Limited Partnership through its General Partner, Frank E. Waters v 96-04191 Name of Respondent Olde Discount Corporation CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on September 19, 1996, claimant Watco Limited Partnership ("claimant") through its representative an

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sasan Azarakhsh, Claimant v. H.J. Meyers & Co., Inc. f/k/a Thomas James Associates Inc., Robert J. Seteducatti, and Mark J. Allen, Respondents Case Number: 96-04186 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Sasan Azarakhsh In Propria Persona Studio City, California For Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John D. Coons, Claimant v. H.J. Meyers & Co., Inc. Fk/a Thomas James Associates, Inc., Mark J. Allen, and Robert J. Seteducatti, Respondents Case Number: 96-04184 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: John D. Coons In Propria Persona Santa Barbara, California For Resp

01/15/99 FRI 13:51 FAX NASD REGULATION il002 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Gary E. Domke and . 96-04183 "Nfame of Respondents Prudential Securities, Inc., Eugene Ingargiola, David Jacobsmeyer, Tim Collins, Lee Naas, Alan Miller, and Marshall Weisman OF PARTIES Gaiy E. Domke ("Claimant") was represented by David O. Kreuter, Esq., of Kreuter & Gordon, P.C., St. Lou

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Ryan, Beck & Co. v. Arbitration No. 96-04177 Name of Respondent The Chai Center v. Name of Third-party Respondent David Stefansky REPRESENTATION For Claimant and Counter-Respondent Ryan, Beck & Co. and Third-party Respondent David Stefansky: John L. Van Horne, in, Esq. Reeve & Van Horne Englewood, New Jersey For Respondent, Count

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Sadie Dietz and Sheila Lustbader 96-04174 Name of Respondents J.B. Hanauer & Co. Security Pacific Marine Midland Bank REPRESENTATION Claimant Sadie Dietz appeared pro sg. Claimant Sheila Lustbader did not appear. For Respondent J.B. Hanauer & Co. ("J.B. Hanauer"): Greg Plifka, Executive Vice President of J.B.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Pamela S. Tadiello, Individually and as Trustee of the Pamela S. Tadiello IRA Account Claimant, and No. 96-04173 The Principal Financial Group, Robert Hayes, and David T. Aldridge Respondents. REPRESENTATION OF PARTIES Claimant, Pamela S. Tadiello, Individually and as Trustee of the Pamela S. Tadiello IRA Account (Tadiello") was represented by K

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. in the Matter of the Arbitration Between Name of Claimant Daniel W. DeLuca 96-04165 Name, of Respondents Prudential Securities Inc Michael Appelbaum CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on September 18. 1996, claimant Daniel DeLuca ("claimant"), who appeared Pro Se, alleged that respondents Pruden

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John F. Hopkins, Sr. 96-04163 Name of Respondents G.R. Stuart & Company, Inc. Greg R. Stuart REPRESENTATION For Claimant John F. Hopkins, Sr. ("claimant") appeared Derek Hopkins. For Respondents G.R. Stuart & Company, Inc. and Greg R. Stuart ("respondents") appeared Greg R. Stuart, CASE INFORMATION Statement